Investigating and Reporting Allegations of Misconduct

(in non-nursing home settings)

presented by:University of Wisconsin Oshkosh CCDETWI Department of Health Services DQA

Permission is granted to reproduce these training materials with proper attribution for internal use within healthcare organizations or government agencies at no cost to the training participants. Other reproduction is prohibited without written permission from UW Oshkosh CCDET. All rights are reserved. For information on reproducing these materials, please contact the Director of UW Oshkosh CCDET at 920-424-3034.

2

Welcome

• Project Background/Staff Introductions

• Reminder: Silence Electronic Devices

• Agenda

• CEUs

• Evaluation

• Certificate of Attendance

• Participant Introductions

3

Learning Points

• Caregiver Misconduct Definitions

• Developing an Investigation Protocol

• Conducting an Internal Investigation

• Interviewing Skills

• Reporting Requirements

4

A Word about Prevention

• Background Checks Are Good But Not Enough

• Key Thoughts on Preventing Caregiver Misconduct

• Adapting Keys to Prevention in Your Facility

5

Legal Definitions

Caregiver Misconduct

Abuse Neglect Misappropriation

Injury of Unknown Source

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Developing a Process and Protocol

• Develop a Process

• Review Protocol Steps 1 – 6

• Activity: Checking Your Protocol

A Protocol = A Plan of Action

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Investigating the Allegation

• An investigation is a fact-finding mission

• Internal investigations should be written reports

• Employment actions are internal entity decisions while the investigation is pending

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Elements of an Investigation

• Who, What, Where, When, Why, How• Contact Law Enforcement• Preserve Evidence• Document the Effect on the Victim• Document the Caregiver’s Duty• Diagram the Scene• Develop a List of Interviewees• Write your Report

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Incident-Specific Elements

• Physical Abuse

• Verbal/Psychological Abuse

• Sexual Abuse

• Neglect

• Misappropriation

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Activity: Case Studies

• Note some elements that are important to your investigation

• Use your training materials to help remember/apply the elements

• Assume that:– You have taken steps to protect the resident– You have taken action re: the accused

caregiver

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Top 10 Interviewing Tips

1. Ensure Privacy 6. Clarify

2. Prepare 7. Ask open questions

3. Relaxed Demeanor 8. Stay on the subject

4. Informal Seating 9. Show empathy

5. Be Clear & Concise 10. Listen well!

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Activity: Interviewing Skills

• Video interview between a facility administrator and a witness

• Compare the video conversation with the interview tips

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Signs of Deception

• No Single Telltale Sign for a Lie

• Liars “Might” Have Some Things in Common

• Behavior During an Interview vs. Behavior under More Normal Circumstances

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Reporting Requirements (non-Nursing Homes)

• Internal Entity Reporting

• Entity Reporting to DQA

• Mandated Incident Reporting

• Optional Incident Reporting

**How to Report to DQA**

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More Reporting Info

• Reporting Requirement Penalties

• Reporting on Behalf of Adults-at-Risk

• Caregiver Misconduct Registry

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Resources

• Wisconsin Caregiver Program Manual http://dhs.wisconsin.gov/caregiver/publications/CgvrProgMan.htm

• Caregiver Abuse and Neglect Prevention Project Trainingwww.uwosh.edu/ccdet/caregiver

• Caregiver Misconduct Training Videohttp://www.dhs.wisconsin.gov/caregiver/training/intInvstTrng.htm

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Wrap-Up

• Questions?

• Evaluation

• CEU Application

• Attendance Certificates